Results 1 to 5 of 18

SEC Releases Updates to Custody Rule Frequently Asked Questions

USA - June 15 2018 On June 5, the Securities and Exchange Commission’s Division of Investment Management staff (Staff) updated its “Staff Responses to Questions About…

David Y. Dickstein

Proposed Amendments to NFA Interpretive Notice Compliance Rule 2-9: Supervision of Branch Offices and Guaranteed IBs

USA - May 24 2019 On May 21, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission proposed amendments to NFA Interpretive…

Kevin M. Foley

Annual Verification in the FINRA Contact System Due January 27

USA - January 22 2021 The Financial Industry Regulatory Authority (FINRA) requires that each FINRA member complete an annual verification (the Annual Verification) of…

Susan Light

OCIE Provides Observations on Cybersecurity and Operational Resiliency Best Practices

USA - January 31 2020 On January 27, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission issued a statement summarizing…

David Y. Dickstein

CFTC and SEC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral MOU Concerning Cross-Border Enforcement

Global, USA - May 24 2019 At the 44th Annual International Organization of Securities Commissions (IOSCO) Conference in Sydney, Australia, the Chairmen of the Commodity…

Kevin M. Foley